合规官
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据NPR新闻的理查德·冈萨雷斯报道,法官任命了一名合规官监督加州的进展。
As NPR 's Richard Gonzales explains the judges also appointed a compliance officer to monitor the state progress .
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法庭还听取了杜军与摩根士丹利一名初级合规官之间的电话录音,后者弄混了中信资源与其姊妹公司中信泰富(citicpacific),其后批准了杜军的交易请求。
The court also heard phone recordings between Mr Du and a junior Morgan Stanley compliance officer who approved his trading after confusing CITIC Resources with CITIC Pacific , a sister company .
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帕特森在2010年以前就已向EADS首席合规官佩德罗•蒙托亚(PedroMontoya)发出过警告,但感到自己仍被忽略。
By 2010 Mr Paterson had alerted Pedro Montoya , EADS 's chief compliance officer , but felt he was still being ignored .
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汇丰解雇了一些高管,并聘用了合规官。
The bank has sacked executives and hired compliance officers .
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道理很简单:在其它银行,明星交易员常常与地位卑微的合规官唱反调,但在高盛,这两种角色的地位是平等的。
The theory is simple : unlike other banks , where star traders routinely overrule lowly compliance officers , at Goldman the two roles have equal status .
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法院任命了一名合规官,如果加州未在限期内减少犯人数量,这名官员有权提前释放在押人员。
The court appointed a compliance officer will held the power to release prisoners early if the state does not meet a timetable for reducing its inmate population .
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该行批发银行业务部门的首席法律与合规官直白地表示,对于该行拓展新业务的努力而言,此类交易延迟风险简直就是交易杀手。
The bank 's chief legal and compliance officer for its wholesale banking business apparently called the risk of such delays a deal-breaker in efforts to develop new business .
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该行批发银行业务部门的首席法律与合规官直白地表示,对于该行拓展新业务的努力而言,此类交易延迟风险简直就是“交易杀手”。
The bank 's chief legal and compliance officer for its wholesale banking business apparently called the risk of such delays a " deal-breaker " in efforts to develop new business .
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国际奥委会表示:“国际奥委会的首席道德与合规官将继续与有关各方接触,以澄清任何受到指控的不当行为。”
The IOC said : " The IOC 's chief ethics and compliance officer will continue to be in contact with all interested parties to clarify any alleged improper conduct . "
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参议院调查人员声称,汇丰没有理会内部合规官、执法官员和监管者发出的可能存在不正当行为的警告;藐视旨在落实美国现行制裁政策的规定;免除对富有客户的反洗钱要求。
Senate investigators claim HSBC ignored warnings of possibly improper activities from internal compliance officers , law enforcement officials and regulators ; flouted rules designed to enforce existing US sanctions ; and waived anti-money laundering requirements for wealthy clients .
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例如,如果一家银行面临债券交易低迷的情况,它可以让交易员转岗成为风险分析师或合规官,此举可以保持员工的兴趣——同时节省一大笔遣散费。
If a bank facing sluggish conditions in debt trading , for example , can convert a trader to a risk analyst or a compliance officer , it can keep people interested - and it can save a bundle on severance .
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汇丰还制定了一套合规制度,迫使全球各地的合规官向伦敦首席执行官汇报。
The lender also has instituted a compliance regime that forces compliance officers around the world to report to the chief officer in London .